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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-10-14 |
| OH | RA | APPROVED | 2020-09-18 |
| TX | RA | APPROVED_RES | 2020-09-18 |
Branch Locations
1095 Avenue Of The Americas 3Rd & 4Th Floors, New York, NY 10036 • United States
4449 Easton Way Suite 120, Columbus, OH 43219 • United States
4 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Huntington Investment Compay | Columbus | OH | 05/2009 | 02/2019 |
| Benjamin F. Edwards & Co. | Columbus | OH | 03/2019 | 09/2020 |
| Stifel Nicolaus & Co Inc | Columbus | OH | 09/2020 | Present |
1. Times3 LLC; 7703 Sundbrook Sq, New Albany, OH 43054; Thriple net lease, Tenet is Valvoline; Investment property; Oversight; 06/13/2018; 0.5 Hours per Month; Not During Securities Trading Hours; Investment-Related. 2. Times9 LLC; 7703 sudbrook sq new albany, OH 43054; Commercial real estate- triple net lease . Tenant is Dutch Brother coffee store in Edwardsville IL; Times9 LLC is owned by my wife Bettye Jane Klinger; Manage the rent paid and oversee the tax and accounting filing; 12/12/2025; .15hrs/mth; Not during securities trading hours; Investment related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-10-28 |
| S63 | Uniform Securities Agent State Law Examination | 1990-03-20 |
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